Personnel Hong Kong SFC License Details (ID 52906)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Blue Water Capital Management Limited	Rep	Advising on securities	2023-12-15	-
	Rep	Asset management	2023-12-15	-
	RO	Advising on securities	2023-04-21	2023-12-15
	RO	Asset management	2023-04-21	2023-12-15
Finex Hong Kong Limited	RO	Advising on securities	2021-05-04	2022-07-20
	RO	Asset management	2021-05-04	2022-07-20
Manulife Investment Management (Hong Kong) Limited	RO	Advising on futures contracts	2011-07-26	2018-07-31
	RO	Advising on securities	2011-07-26	2018-07-31
	RO	Asset management	2011-07-26	2018-07-31
	Rep	Advising on futures contracts	2010-05-12	2011-07-26
	Rep	Advising on securities	2010-05-12	2011-07-26
	Rep	Asset management	2010-05-12	2011-07-26
BALLINGAL INVESTMENT ADVISORS LIMITED	RO	Advising on futures contracts	2008-05-21	2009-03-31
	RO	Advising on securities	2008-05-21	2009-03-31
	RO	Asset management	2008-05-21	2009-03-31
Tyric Capital Limited	Rep	Advising on futures contracts	2005-09-05	2006-06-02
	Rep	Advising on securities	2005-09-05	2006-06-02
	Rep	Asset management	2005-09-05	2006-06-02
AMUNDI ASSET MANAGEMENT	Rep	Advising on securities	2004-11-16	2005-05-10
Amundi Hong Kong Limited	Rep	Advising on securities	2004-11-16	2005-05-10
	Rep	Dealing in securities	2004-11-16	2005-05-10
AMUNDI ASSET MANAGEMENT	RO	Advising on securities	2004-07-16	2004-11-16
	RO	Asset management	2004-07-16	2005-05-10
Amundi Hong Kong Limited	RO	Advising on securities	2004-05-11	2004-11-16
	RO	Dealing in securities	2004-05-11	2004-11-16
	RO	Asset management	2004-05-11	2005-05-10
CREDIT AGRICOLE ASSET MANAGEMENT	RO	Advising on securities	2004-05-11	2004-07-16
	RO	Asset management	2004-05-11	2004-07-16
Amundi Hong Kong Limited	Rep	Advising on corporate finance	2003-04-01	2003-12-31
	Rep	Advising on securities	2003-04-01	2004-05-11
	Rep	Asset management	2003-04-01	2004-05-11
	Rep	Dealing in securities	2003-04-01	2004-05-11
CREDIT AGRICOLE ASSET MANAGEMENT	Rep	Advising on securities	2003-04-01	2004-05-11
	Rep	Asset management	2003-04-01	2004-05-11